Gregory S. Zoraian

SHELTER ROCK MANAGEMENT

Commack, NY

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CRD#: 3239798

Professional summary

Gregory Sam Zoraian, who also goes by Gregory S Zoraian, is a registered financial advisor currently at SHELTER ROCK MANAGEMENT, LLC located in Commack, New York.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Gregory has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gregory S Zoraian

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Since 07/2021, Mr. Zoraian has been a Partner at the accounting firm Grassi Advisors & Accountants (investment-related), which is located at 50 Jericho Quadrangle, Suite 200, Jericho, New York 11753. He dedicates 90% of his time during trading hours to performing accounting services for corporations and individuals.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Sam Zoraian's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 29, 2014 - Present

SHELTER ROCK MANAGEMENT, LLC

Office #2: 50 Jericho Quadrangle Suite 200, Jericho, NY 11753

RIA

CRD#: 142739

Commack, NY

Past

October 7, 2011 - February 21, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

February 18, 2005 - September 23, 2011

WBB SECURITIES, LLC

CRD#: 118440

EAST NORTHPORT, NY

Past

January 22, 2001 - February 22, 2005

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

VICTOR, NY

Past

July 12, 1999 - February 9, 2001

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SHELTER ROCK MANAGEMENT, LLC

43C ADVISORY, LLC | SHELTER ROCK MANAGEMENT, LLC

CRD#: 142739 / SEC#: 801-77651

RIA

Registered Investment Advisory firm - (2/19/2013 Approved)

California

Registered Investment Advisory firm - (3/29/2013 Terminated)

Massachusetts

Registered Investment Advisory firm - (11/29/2010 Terminated)

Missouri

Registered Investment Advisory firm - (2/27/2013 Terminated)

New York

Registered Investment Advisory firm - (2/27/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(8/12/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/6/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/25/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/20/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/9/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SHELTER ROCK MANAGEMENT, LLC

43C ADVISORY, LLC | SHELTER ROCK MANAGEMENT, LLC

CRD#: 142739 / SEC#: 801-77651

RIA

Registered Investment Advisory firm - (2/19/2013 Approved)

California

Registered Investment Advisory firm - (3/29/2013 Terminated)

Massachusetts

Registered Investment Advisory firm - (11/29/2010 Terminated)

Missouri

Registered Investment Advisory firm - (2/27/2013 Terminated)

New York

Registered Investment Advisory firm - (2/27/2013 Terminated)

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Contact information

Main Address

375 North Broadway Suite 207, Jericho, NY 11753

Mailing Address

Phone number

(516) 605-2215

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SHELTER ROCK MANAGEMENT, LLC ADV PART 2A BROCHURE (7/17/2025)

Regulatory assets under management

Total Number of Accounts	278
AUM (Assets Under Management)	$ 206,212,472

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Gregory S. Zoraian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Sam Zoraian's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

WBB SECURITIES, LLC

WALL STREET FINANCIAL GROUP, INC.

PARK AVENUE SECURITIES LLC

Primary Firm SEC Registration

SHELTER ROCK MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/2007

Series 63

Date: 6/25/1999

Series 7

Date: 12/20/2005

Series 6

Date: 7/9/1999

Current Firm

SHELTER ROCK MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHELTER ROCK MANAGEMENT, LLC

TRUST BUT VERIFY

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